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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2019-06-14 |
Branch Locations
100 Crescent Court Suite 1500, Dallas, TX 75201-1871 • United States
Dallas, TX • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | Southlake | TX | 06/2009 | 06/2019 |
| Rbc Capital Markets, Llc. | Dallas | TX | 06/2019 | Present |
NAME OF ENTITY: Optima Giving Foundation ADDRESS: INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Charitable Foundation CAPACITY: Other - Trustee START DATE: 10/1/2021 DUTIES: Approving grants HOURS DEVOTED PER MONTH: 2 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-09-13 |
| S63 | Uniform Securities Agent State Law Examination | 2004-10-15 |
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